Succession Financial Management Limited

• Principal Place of Business

  Succession Wealth Ltd

  The Apex

  Brest Road

  Derriford Business Park

  Plymouth

  PL6 5FL

  UNITED KINGDOM

  Phone

  +4401752968500

  Web

  https://www.successionwealth.co.uk

• Complaints Contact

  Succession Wealth Ltd

  The Apex

  Brest Road

  Derriford Business Park

  Plymouth

  PL6 5FL

  UNITED KINGDOM

  Phone

  +4401752968500

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• P2P Lending Advice

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

• Pension Transfer Advice

  For Professional, Retail (Investment), Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Unit

  Show 2 limitations Hide limitations

  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.
  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Equity Release Advice

  For Customer, Home reversion plans

• Investment Advice (no pensions)

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Equity Release Arranging

  For Customer, Home reversion plans

• Arranges Investments

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Debt Advice

  Show 1 limitation Hide limitations

  • · This permission is limited to debt counselling with no debt management activity

• Equity Release Setup

  For Customer, Home reversion plans

• Mortgage Setup

  For Customer, Regulated mortgage contract

• Investment Setup

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Keith Alan Jayne

  IRN KAJ00007

  • CF30 Customer (1 Nov 2007 to 6 Apr 2016)
  • CF21 Investment Adviser (24 Nov 2003 to 31 Oct 2007)
• Keith David Smithson

  IRN KDS00001

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • [FCA CF] Client dealing (since 13 Jan 2020)
  • [FCA CF] Functions requiring qualifications (since 13 Jan 2020)
• Keith Drysdale

  IRN KXD20858

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 12 May 2023)
  • [FCA CF] Functions requiring qualifications (since 12 May 2023)
• Keith Thomas Mayston Hartland

  IRN KTH00006

  • [FCA CF] Client dealing (5 Apr 2022 to 1 Dec 2022)
  • [FCA CF] Functions requiring qualifications (5 Apr 2022 to 1 Dec 2022)
  • CF30 Customer (24 Aug 2015 to 6 Apr 2016)
• Kelly Marie Anderson

  IRN KMA01038

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (8 Jan 2018 to 8 Dec 2019)
• Kenneth Joseph Janson

  IRN KJJ00008

  • CF30 Customer (1 Nov 2007 to 21 Dec 2009)
  • CF21 Investment Adviser (28 Apr 2006 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (26 Apr 2005 to 28 Apr 2006)
• Kenneth Ross Bottomley

  IRN KRB00003

  • CF30 Customer (18 Feb 2014 to 8 Jan 2015)
• Kerry Lynn Palethorpe

  IRN KLP00005

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 28 Feb 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 28 Feb 2023)
  • CF30 Customer (19 Feb 2015 to 8 Dec 2019)
• Kerry Trott

  IRN KXR01240

  • CF30 Customer (28 May 2008 to 17 Jul 2009)
• Kevin Gerrard

  IRN KXG00016

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Mar 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 1 Mar 2023)
  • CF30 Customer (14 Mar 2017 to 8 Dec 2019)

No changes recorded yet.